Financial services regulatory

Navigating complexity to deliver you insight

The financial services value chain is a highly regulated sector, and the regulation is voluminous, prescriptive and evolving (sometimes rapidly). The severe penalties for compliance failures or poor conduct, has a significant impact on regulated firms' strategy, operations and its customers' experience – a state which shows no sign of changing in the foreseeable future.

Our number one ranked (Financial Services Regulation, Chambers 2021) dedicated team of financial services experts bring an unrivalled amount of experience in advising leading financial institutions on the most complex and innovative legal issues.

We are the expert of choice to resolve complex and large-scale projects particularly where clients need skilled practitioners to partner with them to navigate and provide innovative, timely and cost-effective solutions. Our expertise is also sought when clients require industry leading expertise on regulatory matters to ensure that they achieve the optimal outcome. That is why we are the go to firm for many leading financial institutions.

We cover the full gambit of financial services regulation including Anti-Money Laundering and Counter Terrorism Financing Act, Chapters 5C and 7 of the Corporations Act, the ASIC Act, National Consumer Credit Protection Act, Insurance Act, Life Insurance Act and the Privacy Act. Our pre-eminence is reflected by that fact that for over 20 years, we have been the advisor of choice for Australia's central bank, The Reserve Bank of Australia, particularly in the regulation of payment systems.

Simply, we help you achieve your ambitions and resolve issues so that you can get on doing what you do best.

image Delays to FAR implementation date likely, but in the meantime…

Navigating complexity to deliver you insight

image Regulatory Change & Compliance Advisory
image Regulatory Transaction Support
image Governance and Risk Management
image Enforcement, Investigations and Disputes

Recognition

Band 1

Financial Services Regulation
Chambers Asia Pacific

Tier 1

Financial Services Regulatory
Legal 500 Asia Pacific

Tier 1

Dispute Resolution: litigation
Legal 500 Asia Pacific

Clayton Utz has a standout reputation in a wide range of financial services regulatory work, with a client base that includes the biggest financial institutions in Australia.
Legal 500 Asia Pacific, 2021

Knowledge & insights

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Better Advice Act reforms to address "less serious misconduct"

ARTICLE, 23 Dec 2021
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One step closer to FAR: more details known of the Financial Accountability Regime Bill

ARTICLE, 11 Nov 2021
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ASIC's new regulatory guidance on breach reporting for AFS and credit licensees commences 1 October

ARTICLE, 10 Sep 2021
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ASIC's new Corporate Plan: "Why not litigate" takes a backseat in the name of economic recovery

ARTICLE, 2 Sep 2021
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Significant reforms to the Australian continuous disclosure regime are now law: A guide for listed entities and their officers

ARTICLE, 16 Aug 2021

GET IN TOUCH

Craig Hine

Sydney
Special Counsel